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RL

Roger D. Ledford

ADVANCED STRATEGIES BROKER DEALER LLC
Chattanooga, TN 37405
Some features on this profile are disabled
CRD#: 3219079
RL

Professional summary

Roger Dale Ledford JR, who also goes by Roger Dale Ledford, is a registered financial professional currently at ADVANCED STRATEGIES BROKER DEALER LLC located in Chattanooga, Tennessee.

Roger is registered as a RR (Registered Representative) and started their career in finance in 1999. Roger has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Roger Dale Ledford

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Roger Dale Ledford JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 22, 2014 - Present

ADVANCED STRATEGIES BROKER DEALER LLC

Office #1: 1308 Dallas Road, Chattanooga, TN 37405
BD
CRD#: 164927
Chattanooga, TN
Past

November 15, 2010 - October 2, 2012

FORESTERS EQUITY SERVICES, INC.

BD
CRD#: 18464
SAN DIEGO, CA
Past

April 17, 2001 - December 17, 2001

AMERICAN UNITED LIFE INSURANCE COMPANY

BD
CRD#: 1075
INDIANAPOLIS, IN
Past

April 17, 2001 - May 26, 2010

ONEAMERICA SECURITIES, INC.

BD
CRD#: 4173
CHATTANOOGA, TN
Past

August 25, 1999 - April 13, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 25, 1999 - April 13, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Tennessee
(9/23/2014)
RR
Texas
(3/10/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/24/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ADVANCED STRATEGIES BROKER DEALER LLC
ADVANCED STRATEGIES BROKER DEALER LLC

CRD#: 164927 / SEC#: , 8-69118

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
1308 Dallas Road, Chattanooga, TN 37405
Mailing Address
1308 Dallas Road, Chattanooga, TN 37405
Phone number
(423) 265-4353
Established
Tennessee since 06/04/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BIKAS, CHARLES WILLIAMMANAGING MEMBER, CCO, CFO, FINOP, GENERAL SECURITIES PRINCIPAL2802911

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ADVANCED STRATEGIES BROKER DEALER LLC

CRD#: 164927Chattanooga, TN 37405

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